Senior Associate

0001569655-20-000003.txt : 20200814 0001569655-20-000003.hdr.sgml : 20200814 20200814133850 ACCESSION NUMBER: 0001569655-20-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200814 DATE AS OF CHANGE: 20200814 EFFECTIVENESS DATE: 20200814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Winfield Associates, Inc. CENTRAL INDEX KEY: 0001569655 IRS NUMBER: 311566830 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16105 FILM NUMBER: 201103752 BUSINESS ADDRESS: STREET 1: 700 WEST ST. CLAIR STREET 2: SUITE #404 CITY: CLEVELAND STATE: OH ZIP: 44113 BUSINESS PHONE: 216.241.2575 MAIL ADDRESS: STREET 1: 700 WEST ST. CLAIR STREET 2: SUITE #404 CITY: CLEVELAND STATE: OH ZIP: 44113 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001569655 XXXXXXXX 06-30-2020 06-30-2020 Winfield Associates, Inc.

700 WEST ST. CLAIR SUITE #404 CLEVELAND OH 44113

13F HOLDINGS REPORT 028-16105 N Christophe Jambon Senior Associate 2162412575 Christophe Jambon Cleveland OH 08-14-2020 0 195266 130 false INFORMATION TABLE 2 Winfield13F2020Q2.xml AMAZON.COM INC Stock 023135106 17328 6281 SH SOLE 6281 0 0 AMAZON.COM INC Stock 023135106 552 200 SH Put SOLE 200 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF 81369Y803 2715 25979 SH SOLE 25979 0 0 STARBUCKS CORP Stock 855244109 269 3650 SH SOLE 3650 0 0 JOHNSON & JOHNSON COM Stock 478160104 246 1750 SH SOLE 1750 0 0 WESTERN ASSET HIGH INCM OPP FD COM CEF 95766K109 126 27315 SH SOLE 27315 0 0 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 2965 18943 SH SOLE 18942 0 0 PROCTER AND GAMBLE CO COM Stock 742718109 201 1680 SH SOLE 1680 0 0 VANGUARD REIT INDEX ETF ETF 922908553 295 3751 SH SOLE 3751 0 0 INTEL CORP COM Stock 458140100 289 4823 SH SOLE 4823 0 0 EQUITY RESIDENTIAL SH BEN INT REIT 29476L107 271 4600 SH SOLE 4600 0 0 PROLOGIS INC. COM REIT 74340W103 704 7538 SH SOLE 7538 0 0 ISHARES SHORT-TERM NATIONAL MUNI BOND ETF ETF 464288158 1086 10065 SH SOLE 10065 0 0 SPDR S&P 500 ETF ETF 78462F103 8245 26738 SH SOLE 26737 0 0 GLOBAL X ROBOTICS & ARTIFICIAL INTELLIGENCE THEMATIC ETF ETF 37954Y715 241 10101 SH SOLE 10101 0 0 J M SMUCKER CO NEW Stock 832696405 496 4685 SH SOLE 4685 0 0 VERIZON COMMUNICATIONS Stock 92343V104 1034 18757 SH SOLE 18757 0 0 MARVELL TECHNOLOGY GROUP LTD ORD Stock G5876H105 499 14221 SH SOLE 14221 0 0 PEPSICO INC COM Stock 713448108 413 3125 SH SOLE 3124 0 0 ISHARES 1-3 YR TREASURY BOND ETF ETF 464287457 3782 43665 SH SOLE 43665 0 0 ISHARES TR S&P CALIF MUN BD FD ETF 464288356 687 11050 SH SOLE 11050 0 0 SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ETF 78464A359 1621 26801 SH SOLE 26800 0 0 HOME DEPOT Stock 437076102 2162 8629 SH SOLE 8629 0 0 ISHARES RUSSELL 2000 VALUE ETF 464287630 353 3620 SH SOLE 3620 0 0 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 548 5476 SH SOLE 5476 0 0 KEYCORP COM Stock 493267108 170 13958 SH SOLE 13958 0 0 MONGODB INC CL A Stock 60937P106 2204 9737 SH SOLE 9737 0 0 CONSUMER STAPLES SELECT SECTOR SPDR ETF 81369Y308 862 14705 SH SOLE 14705 0 0 JPMORGAN ULTRA-SHORT INCOME ETF ETF 46641Q837 2760 54400 SH SOLE 54400 0 0 GALLAGHER ARTHUR J & CO COM Stock 363576109 350 3585 SH SOLE 3585 0 0 PIMCO ENHANCED SHORT MATURITY ETF ETF 72201R833 7410 72867 SH SOLE 72867 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 652 3654 SH SOLE 3654 0 0 ADOBE SYS INC Stock 00724F101 435 1000 SH SOLE 1000 0 0 VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND ETF 92206C409 1953 23629 SH SOLE 23628 0 0 VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF ETF 92206C870 1510 15875 SH SOLE 15875 0 0 GOOGLE INC Stock 02079K305 2416 1704 SH SOLE 1704 0 0 PROGRESSIVE CORP OHIO COM Stock 743315103 1927 24060 SH SOLE 24060 0 0 GRAFTECH INTL LTD COM Stock 384313508 116 14549 SH SOLE 14549 0 0 MICROSOFT Stock 594918104 12774 62769 SH SOLE 62769 0 0 MICROSOFT Stock 594918104 1018 5000 SH Put SOLE 5000 0 0 COMMUNICATION SERVICES SELECT SECTOR SPDRA FUND ETF 81369Y852 449 8300 SH SOLE 8300 0 0 RPM INTL INC COM Stock 749685103 255 3396 SH SOLE 3396 0 0 BOEING CO COM Stock 097023105 282 1540 SH SOLE 1540 0 0 WESTERN ASSET EMERGING MKTS DE COM CEF 95766A101 132 10695 SH SOLE 10695 0 0 INVESCO TAXABLE MUNICIPAL BOND ETF ETF 46138G805 908 27580 SH SOLE 27580 0 0 VANGUARD S&P 500 ETF ETF 922908363 565 1993 SH SOLE 1993 0 0 ILLUMINA INC Stock 452327109 565 1525 SH SOLE 1525 0 0 NUVEEN CALIF SELECT TAX FREE I SH BEN INT CEF 67063R103 259 15800 SH SOLE 15800 0 0 ISHARES 0-5 YR TIPS BOND ETF ETF 46429B747 205 2000 SH SOLE 2000 0 0 AIR PRODS & CHEMS INC COM Stock 009158106 683 2830 SH SOLE 2830 0 0 SERVICE PPTYS TR COM SH BEN INT REIT 81761L102 87 12290 SH SOLE 12290 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 295 2060 SH SOLE 2060 0 0 ISHARES TR HIGH DIVID EQUITY FD ETF 46429B663 1377 16965 SH SOLE 16965 0 0 DIGITAL REALTY TRUST INC REIT 253868103 1074 7558 SH SOLE 7558 0 0 ATHERSYS INC NEW COM Stock 04744L106 141 51000 SH SOLE 51000 0 0 II-VI INC COM Stock 902104108 986 20877 SH SOLE 20877 0 0 ENERGY TRANSFER LP COM UT LTD PTN Stock 29273V100 209 29357 SH SOLE 29357 0 0 APTIV PLC SHS Stock G6095L109 877 11260 SH SOLE 11260 0 0 VISA INC Stock 92826C839 4369 22619 SH SOLE 22619 0 0 ISHARES EDGE MSCI MIN VOL USA ETF ETF 46429B697 2980 49156 SH SOLE 49156 0 0 PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF 72201R775 2368 21224 SH SOLE 21224 0 0 CEDAR FAIR L P DEP UNIT Stock 150185106 314 11410 SH SOLE 11410 0 0 NUVEEN PFD & INCM SECURTIES FD COM CEF 67072C105 117 13802 SH SOLE 13802 0 0 NUVEEN OHIO QUALITY INCOME MUN FD INC CEF 670980101 254 16900 SH SOLE 16900 0 0 NUVEEN MUN VALUE FD CEF 670928100 702 68850 SH SOLE 68850 0 0 SPLUNK INC COM Stock 848637104 2409 12123 SH SOLE 12123 0 0 AMERICAN TOWER CORP REIT 03027X100 3177 12289 SH SOLE 12289 0 0 IRON MTN INC NEW COM REIT 46284V101 241 9235 SH SOLE 9235 0 0 WELLS FARGO UTILITIES AND HIGH WF UTILITIES INC CEF 94987E109 139 10753 SH SOLE 10753 0 0 FACEBOOK INC CL A Stock 30303M102 1563 6885 SH SOLE 6885 0 0 SERVICENOW INC COM Stock 81762P102 226 558 SH SOLE 558 0 0 COHEN & STEERS LTD DURATION PFD INCOME CEF 19248C105 588 26107 SH SOLE 26107 0 0 MONDELEZ INTL INC CL A Stock 609207105 231 4512 SH SOLE 4512 0 0 NVIDIA CORPORATION COM Stock 67066G104 1346 3544 SH SOLE 3544 0 0 ISHARES 1-3 YR CREDIT BOND ETF ETF 464288646 722 13200 SH SOLE 13200 0 0 ISHARES TR LEHMAN SHORT TREA BDFD ETF 464288679 3510 31700 SH SOLE 31700 0 0 SPDR S&P BIOTECH ETF ETF 78464A870 3231 28861 SH SOLE 28861 0 0 CYRUSONE INC COM REIT 23283R100 218 3000 SH SOLE 3000 0 0 INVESCO LTD SHS Stock G491BT108 229 21255 SH SOLE 21255 0 0 NEW RESIDENTIAL INVESTMENT CORP REIT 64828T201 591 79600 SH SOLE 79600 0 0 PORTOLA PHARMACEUTICALS INC COM Stock 737010108 228 12650 SH SOLE 12650 0 0 CISCO SYS INC Stock 17275R102 690 14785 SH SOLE 14785 0 0 ADVANCED MICRO DEVICES INC COM Stock 007903107 854 16225 SH SOLE 16225 0 0 AT&T INC COM Stock 00206R102 266 8801 SH SOLE 8801 0 0 CREDIT SUISSE ASSET MGMT INCOM COM CEF 224916106 149 55035 SH SOLE 55035 0 0 ISHARES NASDAQ BIOTECHNOLOGY ETF 464287556 3247 23752 SH SOLE 23752 0 0 ISHARES EDGE MSCI USA QUALITY FACTOR ETF ETF 46432F339 1099 11455 SH SOLE 11455 0 0 ISHARES IBOXX HIGH YIELD CORPORATE BOND ETF ETF 464288513 702 8600 SH SOLE 8600 0 0 ISHARES EDGE MSCI USA MOMENTUM FACTOR ETF ETF 46432F396 770 5881 SH SOLE 5881 0 0 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 2121 16611 SH SOLE 16611 0 0 INDUSTRIAL SELECT SECTOR SPDR ETF 81369Y704 584 8505 SH SOLE 8505 0 0 ISHARES EXPANDED TECH-SOFTWARE SECTOR ETF ETF 464287515 417 1467 SH SOLE 1467 0 0 ISHARES S&P 500 INDEX ETF 464287200 2233 7211 SH SOLE 7211 0 0 FIRST TR ABERDEEN GLBL OPP FD COM SHS CEF 337319107 179 18085 SH SOLE 18085 0 0 ISHARES MBS BOND ETF ETF 464288588 392 3540 SH SOLE 3540 0 0 ISHARES S&P U.S. PREFERRED STOCK ETF ETF 464288687 1314 37935 SH SOLE 37935 0 0 SALESFORCE COM Stock 79466L302 1625 8677 SH SOLE 8677 0 0 NORTHROP GRUMMAN CORP COM Stock 666807102 515 1675 SH SOLE 1675 0 0 LOCKHEED MARTIN CORP Stock 539830109 1720 4714 SH SOLE 4714 0 0 JPMORGAN CHASE & CO COM Stock 46625H100 653 6940 SH SOLE 6940 0 0 NUVEEN CA QUALTY MUN INCOME FD COM CEF 67066Y105 233 16300 SH SOLE 16300 0 0 ISHARES AMT-FREE MUNI BOND ETF ETF 464288414 1212 10500 SH SOLE 10500 0 0 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 1342 34589 SH SOLE 34589 0 0 NEW MEDIA INV GRP INC Stock 36472T109 19 13550 SH SOLE 13550 0 0 ISHARES 3-7 YR TREASURY BOND ETF ETF 464288661 1029 7695 SH SOLE 7695 0 0 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 1420 35851 SH SOLE 35851 0 0 TEXAS INSTRS INC COM Stock 882508104 220 1734 SH SOLE 1734 0 0 TARGET CORP COM Stock 87612E106 368 3065 SH SOLE 3065 0 0 PFIZER INC COM Stock 717081103 498 15237 SH SOLE 15237 0 0 3M CO COM Stock 88579Y101 645 4138 SH SOLE 4138 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 6963 4926 SH SOLE 4926 0 0 ARISTA NETWORKS INC COM Stock 040413106 1300 6190 SH SOLE 6190 0 0 NUVEEN PFD & INCOME OPPORTUNIT COM CEF 67073B106 185 22503 SH SOLE 22503 0 0 ISHARES 7-10 YR TREASURY BOND ETF ETF 464287440 2405 19735 SH SOLE 19735 0 0 ISHARES AGGREGATE BOND ETF ETF 464287226 6657 56314 SH SOLE 56314 0 0 ISHARES S&P MIDCAP 400 GROWTH INDEX ETF 464287606 3533 15772 SH SOLE 15772 0 0 DNP SELECT INCOME FD INC COM CEF 23325P104 114 10445 SH SOLE 10445 0 0 QORVO INC COM Stock 74736K101 553 5000 SH SOLE 5000 0 0 NUVEEN CALIF MUN VALUE FD INC COM CEF 67062C107 513 50200 SH SOLE 50200 0 0 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 1565 31585 SH SOLE 31585 0 0 UNITEDHEALTH GROUP Stock 91324P102 406 1378 SH SOLE 1378 0 0 TRAVELERS COMPANIES INC COM Stock 89417E109 391 3425 SH SOLE 3425 0 0 LOWES COS INC COM Stock 548661107 338 2500 SH SOLE 2500 0 0 FIRST TRUST LOW DURATION MORTGAGE OPPORTUNITIES ETF ETF 33739Q200 1333 25793 SH SOLE 25793 0 0 SHOPIFY INC CL A Stock 82509L107 1984 2090 SH SOLE 2090 0 0 CROWN CASTLE INTL CORP NEW COM REIT 22822V101 2945 17597 SH SOLE 17597 0 0 APPLE INC Stock 037833100 13937 38206 SH SOLE 38205 0 0 GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ETF 381430503 291 4650 SH SOLE 4650 0 0 DISNEY WALT CO COM DISNEY Stock 254687106 408 3655 SH SOLE 3655 0 0 INVESCO PREFERRED ETF ETF 46138E511 142 10080 SH SOLE 10080 0 0